- City and County of San Francisco (San Francisco, CA)
- …Coordinate with investment managers, service providers, and colleagues to ensure compliance with investment policies and accurate reporting of investments. + ... San Francisco and their survivors. What We Do The Investment Division serves as a resource to the Retirement...resource to the Retirement Board in the development of investment policies and practices. In accordance with the annual… more
- US Bank (Los Angeles, CA)
- …Day One. **Job Description** This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual ... - Ten or more years of experience in a compliance or financial industry related role, preferably in a...a CCO role or securities related -Prior experience with compliance or operational aspects of ETFs - Strong knowledge… more
- Guardian Life (Sacramento, CA)
- …Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing ... laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated… more
- Intuit (Mountain View, CA)
- …of training programs to identify areas for improvement and demonstrate return on investment .* Collaborate with Compliance leadership to identify and mitigate ... **Overview** We are seeking a passionate and innovative Compliance Training Leader to design, develop, and deliver...Leader to design, develop, and deliver engaging and effective compliance training programs across our organization. This role is… more
- City National Bank (Los Angeles, CA)
- …based upon their objectives, risk tolerance, time horizon, financial status, and other investment needs in compliance with FINRA regulations and CNS policies and ... SERVICES OFFICER* WHAT IS THE OPPORTUNITY? Oversee the City National Securities Investment Relationship Officers and Assistant Investment Officers supporting the… more
- BlackRock (San Francisco, CA)
- …of equity, fixed income and derivative products + Knowledge of buy-side investment management workflows such as trading, compliance , operations and settlements ... languages + Familiarity with Aladdin or other portfolio management, OMS/EMS, compliance , or investment operations systems + CFA, FRM, CIMA, or CAIA certification… more
- Robert Half Legal (San Diego, CA)
- …pivotal role advising key business units on a wide range of broker-dealer and investment advisory compliance issues. The firm has a reputation for internal ... Serve as day-to-day legal advisor to the broker-dealer and investment advisory platforms, focusing on regulatory compliance ...and investment advisory platforms, focusing on regulatory compliance and risk mitigation. + Respond to and manage… more
- BlackRock (San Francisco, CA)
- … cycle, including pre-trade decisioning, order management, trading, investment operations, risk management/ compliance /oversight, closed-book accounting, or ... been at the core of BlackRock. Aladdin(R) is an operating system for investment managers that seek to connect the information, people, and technology needed to… more
- CommonSpirit Health (San Francisco, CA)
- …Subcommittee for approval. + **Portfolio Management and Impact Evaluation:** Monitor loan compliance and investment performance by reviewing investment ... happen both inside our hospitals and out in the community. The Community Investment Program ("CIP") is at the forefront of realizing the organization's mission and… more
- TIAA (Pasadena, CA)
- …preferences, return expectations, and market conditions. + Evaluates the performance of investment portfolios and ensures compliance with standards provided by ... a central point of contact for HNW clients, responsible for overseeing investment portfolios and delivering personalized advice. This role involves direct portfolio… more